Joao Pinto of Spartan Capital, Suspended by FINRA NEW YORK, NY Have you invested money with financial advisor Joao Pinto, with Spartan Capital Securities in New York, New York? Our securities arbitration law firm is reviewing claims made by FINRA against Joao A. Pinto. FINRA has suspended Pinto from the securities industry for three months.…
Continue reading ›Next Financial Group Advisor Farid Farhoumand Subject of Recent Complaint FORT WAYNE, INDIANA Are you a current or former client of financial advisor Farid Farhoumand from Fort Wayne, Indiana? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made by former customers of Farid Farhoumand, who has worked with Next…
Continue reading ›Gary Costello Fired by Truist Investment Services PALM BEACH, FLORIDA Are you a present or former customer of Gary Costello, formerly with Truist Investment Services, in Palm Beach, Florida and also formerly with Oppenheimer in Boca Raton? FINRA recently reported that Gary Costello was fired by Truist Investment Services in August 2023. Costello had been…
Continue reading ›Andrew Schell with D.A. Davidson Subject of 19 Complaints COLORADO SPRINGS, COLORADO Did you invest with Andrew Schell from Colorado Springs, Colorado? Our investment fraud law firm is reviewing allegations made by clients of Andrew Schell, formerly with D.A. Davidson. Mr. Schell had been a financial advisor of D.A. Davidson from January 2020 to March…
Continue reading ›Scott Roslonowski with Ameriprise Financial Services Subject of Complaints INDIAN HARBOUR BEACH, FLORIDA Have you invested in REITs through Scott Roslonowski at Ameriprise Financial Services in Harbour Beach, Florida? He has been with Ameriprise Financial Services since October 2009. Scott Roslonowski has been the subject of two customer complaints during 2023 – one made in…
Continue reading ›Leo Chien, with Cetera Investment Services, Subject of Several Complaints SAN GABRIEL, CALIFORNIA Have you invested with Leo Chien from San Gabriel, California? Our securities arbitration law firm is reviewing claims made by former clients of Leo Li-Yuan Chien, with Cetera Investment Services. Mr. Chien has been a registered representative of Cetera Investment Services since…
Continue reading ›Advisor Sean Carnell Smith Fired by Edward Jones LOUISVILLE, KENTUCKY Are you a former customer of Sean Carnell Smith, formerly with Edward Jones, in Louisville, Kentucky? His BrokerCheck Report (See PDF below) shows that he was fired by Edward Jones in August 2023. Sean Smith had been licensed with Edward Jones since February 2018. FINRA’s…
Continue reading ›Robert Dechick with DH Hill Securities Subject of Complaints CLERMONT, FLORIDA Have you invested in REITs through DH Hill Securities? Our securities arbitration law firm is looking into claims made against advisor, Robert Dechick of Clermont, Florida. Mr. Dechick has been the subject of five customer complaints since 2020, including two complaints that were made…
Continue reading ›Yong Chang with Independent Financial Group Subject of Two Complaints SEATTLE, WASHINGTON Have you invested with Yong Chang from Seattle, Washington? Our securities arbitration law firm is reviewing claims made by clients of Yong Seok Chang, with Independent Financial Group. Chang has been a representative of Independent Financial Group since 2008 in Seattle, Washington, as…
Continue reading ›James Pelletiere, formerly with Pruco Securities, Barred by FINRA DOWNERS GROVE, ILLINOIS Did you invest with financial advisor James Pelletiere, formerly with Pruco Securities? We are reviewing claims made against James Pelletiere from Downers Grove, Illinois. In October 2023, FINRA (the Financial Industry Regulatory Authority) barred Pelletiere from the securities industry. FINRA alleged that he…
Continue reading ›
